Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

Major Banks Agree to Temporarily Stay Swap Termination Under ISDA Protocol

bank pic

Banking, Derivatives The International Swaps and Derivatives Association, Inc., or ISDA,  announced that 18 major global banks, referred to as G-18, have agreed to sign a new ISDA Resolution Stay Protocol.   The Protocol was developed in coordination with the Financial Stability Board to support cross-border resolution and reduce systemic risk. ISDA believes this represents a major step […] Read more →

by   |   October 12, 2014

broker-dealer

It’s Going to be Harder to Sell Unregistered Securities

Broker-Dealer, Public Companies and Securities The SEC has issued a Risk Alert and FAQs to remind broker-dealers of their obligations when they sell unregistered securities on behalf of clients.  This occurs when founders and... Read more →

by   |   October 9, 2014

conflict minerals

Tulane Releases Study on First-Year Conflict Minerals Filings

Public Companies and Securities, Uncategorized The Payson Center for International Development of Tulane University Law School released a study analyzing the results of a June 2014 survey of issuers who filed the required Form... Read more →

by   |   October 7, 2014

Scale and Gavel

MD&A Rules Do Not Create Rule 10b-5 Disclosure Obligation

Litigation, Public Companies and Securities The Ninth Circuit recently examined whether Item 303 of Regulation of S-K, which sets forth the MD&A rules, creates an affirmative duty of disclosure on which to pin a Rule... Read more →

by   |   October 6, 2014